Sam Charles Cooper
CFP®, ChFC®, CLU®Professional Summary
Sam Charles Cooper, CFP®, ChFC®, CLU® was a registered financial advisor. Sam was a previously registered financial professional and started their career in finance 1996 - 2023. Sam had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Insurance Planning
- Estate Planning
- Investment Planning
- Tax Planning
- Comprehensive Financial Planning
- Business Succession Planning
- Retirement Planning
- Education Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL CONSULTING GROUP | NEXT FINANCIAL GROUP, INC. | NEXT ADVISORY SERVICES
Contact Information
Main Address
11740 Katy Freeway Suite 600, Houston, TX 77079Phone Number
(877) 876-6398Established
Virginia since 06/28/1998Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
564Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
16,805AUM (Assets Under Management)
$3,769,456,133Disclosures
Regulatory Event
27Arbitration
3Bond
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | Cover Page | Report |
| 06/28/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1996About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Services Offered by Sam
- Insurance Planning
- Estate Planning
- Investment Planning
- Tax Planning
- Comprehensive Financial Planning
- Business Succession Planning
- Retirement Planning
- Education Planning
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